DFX Intelligence

W•••••• H••••• E••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

W•••••• H••••• E••••

Advisor at O•••• W•••••• I•••

LEXINGTON, KY

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Search this name across graphsid dfx:ria:80c556bc-5b3d-ab51-2f7b-ae04b3d57345

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 30, 2017 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 30, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Dec 16, 2025	n/a	yes	LEXINGTON, KY	Current employment
C•••••• S••••• • C••• I•••	National bd RIA	Sep 21, 2021	Dec 12, 2025	no	Louisville, KY\|Lexington, KY\|Franklin, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	O•••• W•••••• I•••	Dec 12, 2025	Dec 16, 2025	4	Firm change	Ibd to ibd
T••••••• I••••••••• M••••••••• I•••	C•••••• S••••• • C••• I•••	Aug 15, 2019	Sep 21, 2021

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Dec 16, 2025 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Sep 21, 2021 to Dec 12, 2025factForm ADV
→ T••••••• I••••••••• M••••••••• I•••Registered adviserregistration: previous registration
Jan 23, 2018 to Aug 15, 2019factForm ADV
→ F•••••••• A••••••• S•••••••• L••

Dated events

Occurred
Dec 12, 2025
Advisor changed firm
W•••••• H••••• E•••• left C•••••• S••••• • C••• I••• for O•••• W•••••• I••• (registered 2025-12-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80c556bc-5b3d-ab51-2f7b-ae04b3d57345
First observed: Aug 30, 2017
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.